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The water relations and irrigation requirements

of cocoa (Theobroma cacao L.): A review
Article in Experimental Agriculture October 2011

DOI: 10.1017/S0014479711000421
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Expl Agric. (2011), volume 47 (4), pp. 653676
C Cambridge University Press 2011
doi:10.1017/S0014479711000421
T H E WAT E R R E L AT I O N S A N D I R R I G AT I O N
R E QU I R E M E N T S O F C O C OA ( T H E O B RO M A C AC AO L . ) :
A REVIEW
By M. K. V. CARR, and G. LOCKWOOD

Emeritus Professor, School of Applied Sciences, Cranfield University, Bedford, MK45 0AL,
UK and 30 St. Martins Drive, Eynsford, Dartford, Kent, DA4 0EX, UK
(Accepted 17 March 2011; First published online 27 May 2011)
SUMMARY
The results of research into the water relations of cocoa are reviewed in the context of drought mitigation
and irrigation need. Background information on the centres of production of the cocoa tree, and the role
of water in crop development and growth processes, is followed by reviews of the effects of water stress
on stomatal conductance, leaf water status and gas exchange, together with drought tolerance, crop water
use and water productivity. Leaf and shoot growth occur in a series of flushes, which are synchronized
by the start of the rains following a dry season (or an increase in temperature), alternating with periods
of dormancy. Flowering is inhibited by water stress but synchronous flowering occurs soon after the dry
season ends. Roots too grow in a rhythmic pattern similar to that of leaf flushes. Roots can reach depths
of 1.52.0 m, but with a mass of roots in the top 0.20.4 m, and spread laterally >5 m from the stem.
Stomata open in low light intensities and remain fully open in full sunlight in well-watered plants. Partial
stomatal closure begins at a leaf water potential of about 1.5 MPa. Stomatal conductance is sensitive to
dry air, declining as the saturation deficit increases from about 1.0 up to 3.5 kPa. Net photosynthesis and
transpiration both consequently decline over a similar range of values. Little has been published on the
actual water use of cocoa in the field. Measured ETc values equate to <2 mm d1 only, whereas computed
ETc rates of 36 mm d1 in the rains and <2 mm d1 in the dry season have also been reported. Despite
its sensitivity to water stress, there is too a paucity of reliable, field-based published data of practical value
on the yield responses of cocoa to drought or to irrigation. With the threat of climate change leading to
less, or more erratic, rainfall in the tropics, uncertainty in yield forecasting as a result of water stress will
increase. Social, technical and economic issues influencing the research agenda are discussed.
I N T RO D U C T I O N
The cocoa tree (Theobroma cacao) is cultivated in the humid tropics for its seed (bean),
the vast majority of which is used in the food industry for the production of chocolate
and powder (for drinking, baking and ice cream manufacture). A small proportion is
also sold as cocoa butter, which is used in the pharmaceutical and cosmetic industries.
Cocoa is of international importance as a smallholder crop (56 million farmers) with
only about 5% (our best estimate) of the world crop (annual total = 3.6 million t)
produced on plantations. Historically, most cocoa was planted in newly thinned forest
with little investment of monetary capital during the establishment or maintenance
phases (Ruf, 1995). Nowadays, little forest remains in the traditional growing areas and
Address for correspondence: Pear Tree Cottage, Frog Lane, Ilmington, Shipston on Stour, Warwickshire,
CV36 4LQ , UK. Email: mikecarr@cwms.org.uk
654 M . K . V. C A R R A N D G . L O C K W O O D
its conversion to cocoa is not acceptable. Replanting former cocoa land is costlier and,
as it is usually lower yielding, it is less profitable. In West Africa, where cocoa is usually
grown under shade, there are long-standing problems over the tenure of the cocoa
trees and shared cropping is widespread. As an internationally traded commodity,
cocoa contributes to the livelihoods of an estimated 4050 million people (World
Cocoa Foundation, 2010).
A great deal of research has been reported on the ecophysiology and water relations
of cocoa and this paper attempts to synthesize this research from an independent
perspective and to do this in practically useful ways. It follows the format used in
previous reviews in this series notably on coffee (Carr, 2001), banana (Carr, 2009), tea
(2010a; 2010b), sugar cane (Carr and Knox, 2011) and coconut (Carr, 2011). It begins
with a summary of the origin and centres of production of cocoa and the stages of crop
development (including roots) in relation to water availability, followed by reviews of
plant water relations, crop water use and water productivity. Various aspects of this
topic have previously been reviewed (e.g. Alvim, 1977; Balasimha, 1999; Fordham,
1972) including, most recently, a paper by Almeida and Valle (2007) with a focus on
factors influencing the growth and development of the cocoa tree. Emphasis here is
placed on those publications describing research which has international relevance.
C E N T R E S O F P RO D U C T I O N
The centre of diversity of cocoa is believed to be within the rainforests of lowland

northern South America where the greatest range of variation in natural populations
exists (Cheesman, 1944; Simmonds, 1998). In its natural habitat cocoa is a small tree in
the lower storey of the evergreen rain-forest. Cocoa has been cultivated since ancient
times (at least 2000 years) in Central America, from Mexico to southern Costa Rica.
After the arrival of the Spaniards in the 16th century, cocoa spread rapidly in the New
World. It was introduced into southeast Asia in the 17th century and to West Africa
in the 19th century. The plant develops fruits known as cocoa pods (botanically an
indehiscent drupe). The pods contain seeds, which are fermented with the mucilage
surrounding them and then dried to give fermented dried cocoa, the raw material
used to make chocolate (Wood, 1985b).
By 2008, the total planted area of cocoa in the world was estimated to be about
8.6 million ha of which 67% is in West Africa and only 17% in the Americas and
the Caribbean. It is nearly all grown within 20 N and 20 S of the equator (World
Cocoa Foundation, 2010).The largest individual producer is Cte dIvoire (1.22 million
tonnes; 2.3 million ha in 2008), followed by Ghana (662 000 t; 1.75 million ha),
Indonesia (490 000 t; 990 000 ha), Nigeria (250 000 t; 1.15 million ha), Cameroon
(227 000 t; 500 000 ha) and Brazil (157 000 t; 641 000 ha). (Areas harvested from
FAO, 2010: production from ICCO, 2010). West Africa now produces 69% of the
worlds annual total of 3.6 million tonnes of cocoa. The market value of the cocoa
crop is US$5.1 billion (World Cocoa Foundation, 2010).
The climates of the major cocoa growing countries have been described by Wood
(1985a). The average annual rainfall totals range from 1300 mm (Gagnoa, Cte
Water requirements of cocoa 655
dIvoire) to 2800 mm (Keravat, Papua New Guinea), but it is not the total alone that
matters but rather the distribution of rain through the year. In Malaysia (Perak, 4 N)
and Papua New Guinea (Keravat, 4 S) rainfall is uniformly distributed, but in Ecuador
(Pichilingue, 1 S) and South India (810 N), for example, there is a single, long dry
season. In West Africa (58 N) there are generally two dry, or less wet, seasons. Only
a very small proportion (ca. 0.5%) of the area planted with cocoa is thought to be
irrigated.
In a comprehensive analysis of growth processes of cocoa in different regions of the
world, Hardy (1958) identified the following critical air temperatures for commercial
cocoa production: the mean annual temperature should not be <22 C, the mean
daily minimum not <15 C, and the absolute minimum not <10 C.
Types
Traditionally, cocoa was classified according to trade perceptions of its physical and
sensory quality and associated botanical traits, albeit imperfectly (Cheesman, 1944).
Criollo: cultivated on a small scale because of its lack of vigour, although the area is
currently expanding due to renewed interest in speciality cocoa.
Forastero: the bulk of the worlds cocoa production is from this type.
Trinitaro: usually considered to be the result of crosses between the other two types
and is not found in the wild. Material designated as Trinitario is grown commercially
in the Caribbean and Papua New Guinea.
Recently, Motamayor et al. (2008) have proposed a new classification of cocoa
germplasm. Based on an analysis of over 1000 individual trees from different
geographic areas within the Amazon basin, and using microsatellite markers, they
identified 10 genetic groups or clusters, rather than the three listed above, namely:

Maranon, Curaray, Criollo, Iquitos, Nanay, Contamana, Amelonado, Purus, Nacional
and Guiana. The authors believe that this new classification reflects more accurately
the genetic diversity available to breeders.
Traditionally, cocoa has always been propagated from seed although the potential
for clones (with a plagiotropic at an angle to the vertical growth habit, see below)
has long been recognized (Lockwood and Boamah Adomako, 2010).The breeding
and adoption of new seedling cultivars has led to large increases in productivity, for
example in Ghana (Edwin and Masters, 2005).
C RO P D E V E L O P M E N T
Cocoa seedlings exhibit two growth forms: a vertical (orthotropic) stem, known as a chupon,
with spiral phyllotaxi, together with three to five lateral (plagiotropic) fan branches (5/8
phyllotaxi). The point from which the buds grow out sideways from the terminal end
of the main stem is known as a jorquette. Clones propagated from chupon buddings have
the same growth habit as seedlings, whilst material propagated from fan buds has
the same morphology, growth and flowering habit as fan branches (and very rarely
produce an orthotropic shoot).
The phenological growth stages of cocoa plants have been described in detail by
Niemenak et al. (2009) using the extended BBCH-scale. In summary, development
can be divided into the following principal growth stages:
Growth stage 0: seed germinationvegetative propagation. Growth stage 1: leaf
development on the main (vertical) stem, and on the fan branches. Growth stage
2: main stem elongation, formation of a jorquette of fan branches and another chupon.
Growth stage 3: fan branch elongation. Growth stage 5: inflorescence emergence.
Growth stage 6: flowering. Growth stage 7: development of fruit. Growth stage 8:
ripening of fruit and seed. Growth stage 9: senescence. (Note, growth stage 4 does not
apply to cocoa only to cereals.)
These growth stages are further subdivided into secondary and tertiary growth stages.
For the purposes of this review we are principally concerned with the development
of the leaf canopy (growth stages 13), flowering (growth stages 56) and fruit
development and ripening (growth stages 78).
Stem and leaf canopy development

Leaf development occurs on the main stem (orthotropic) as well as on the fan
(plagiotropic) branches. Initially about 10 leaves begin to develop and expand at the
same time. This is known as a leaf flush (Greenwood and Posnette, 1950). After about
40 days a second (and third and so on) flush occurs. As this rhythmic process is largely
independent of climate it is considered to be under endogenous control (Almeida and
Valle, 2007). Leaves differ in appearance depending on the type of stem on which
they arise (the petioles are about 60 mm longer on chupons, allowing the leaf to be
orientated in relation to the light) (Burle, 1961).
An individual shoot passes through alternate periods of growth and dormancy,
during which leaf primordia/small leaves are developing in the apical bud (Hardwick
et al., 1988a), and follows a similar pattern to the leaf flush cycle (Greathouse et al.,
1971). The growth period is characterized by the expansion of leaves and elongation
of the shoot. During dormancy the length of the shoot remains constant and no new
leaves expand. The main stem reaches physiological maturity after one or two years
from planting (at a height of 1.01.2 m) when the apical meristem stops growing and
a jorquette of plagiotropic branches (35) begin to develop, and these in turn eventually
branch. At the same time a second vertical stem (second chupon) appears on the main
stem (first chupon). In the course of time, a second whorl of fan branches develops. This
process may be repeated several times such that the canopy increases in height (up
to 10 m when cultivated and even 20 m when uncultivated and under heavy shade).
This is customary practice in West Africa. Cocoa may be pruned to limit its height to
35 m, when only the initial jorquette and subsequent branching growth are retained,
further chupons are continually removed to restrict the eventual vertical growth, and
fan branches may be pruned in order to develop an efficient plant structure and for
cultural management.
The importance of light interception and distribution within the canopy in limiting
productivity in cocoa germplasm was highlighted by a field study in Malaysia (Yapp
and Hadley, 1994). For cocoa with a full canopy (48 months after transplanting),
planted at a conventional density (1096 trees ha1 ), precocity and yield were a simple
function of intercepted radiation (f). In a comparison of 12 genotypes, there were large
variations in the value of f (from 0.50 to 0.82), and in the bean yield/intercepted
radiation conversion efficiency (0.0850.133 g MJ1 ). In contrast, for cocoa planted at
high density (3333 ha1 ), with full canopy cover, yield was related to light distribution in
the canopy and the degree of attenuation represented by the light extinction coefficient
(k). Shaded leaves low in the canopy can contribute more to dry matter production
when the value of k is small (Hadley and Yapp, 1993). The effect of the age of a
leaf and its position within a canopy on its productivity (rates of photosynthesis and
respiration) has been described by Miyaji et al. (1997).
Subsequently, the importance of canopy structure in cocoa was confirmed by
Daymond et al. (2002a). In a comparison of 10 clones in Brazil, the leaf area index
(L), for example, reached values ranging from 2.8 to 4.5 (plants spaced 3 m square)
There were associated differences in the relationship between L and the fractional
light interception. In addition, clones also vary in the base temperature for main stem
growth ranging, for example, from 18.6 C (AMAZ 15/15) to 20.8 C (SPEC 54/1)
(Daymond and Hadley, 2004). For comparison, the minimum duration of a leaf flush
cycle occurs at a daily mean air temperature of about 26 C (Hadley et al., 1994).
Based on the results of a large trial in Sabah, Malaysia, Lockwood and Pang (1996)
concluded that the optimum plant density can vary between clones (the densities
compared were 1096 and 3333 plants ha1 ). Later, Pang (2006) confirmed that, at the
current stage of cocoa breeding, selection for adaptation to planting density was of
higher priority than selection for yield efficiency (the ratio of cumulative yield over a
period of time to the increment in the cross-sectional area of the trunk over the same
time period).
Drought symptoms: water availability, by influencing the rate of canopy expansion, and
hence light interception, can be expected to influence the productivity of young cocoa.
When droughted, seedlings quickly reach a point of no return from which they can
not recover. Visible symptoms of drought include premature leaf fall (progressively
younger leaves abscise), the yellowing of basal leaves, wilting, small leaves and slow
trunk growth. The relief of water stress is followed by a large, synchronized flush of leaf
growth (Hutcheon, 1977b), but the flushing cycle that follows is independent of plant
water status (at least until the next dry season) (Hardwick et al., 1988b). Synchronized
leaf growth can also be triggered by an increase in temperature (Hutcheon,
1981a).
Flowering
Flowers form in meristematic tissues located above leaf scars on the main stem and
woody branches (cauliflorus). Seedling trees do not flower until after the second flush has
hardened on jorquette branches, but plants budded from plagiotropic growth can flower
when the second growth flush has hardened. An individual site (commonly known as
a cushion, or strictly as a compressed cincinnal cyme (Purseglove, 1968), can have
flowers at different stages of development whilst up to 120 000 flowers can be produced
each year on a single tree. The floral meristem produces flowers over the trees
entire life span. There is marked seasonal variation in flower production (Edwards,
1973). Flower opening is synchronized and the anthers release their pollen early in
the morning. Various small insects, including midges (Ceratopogonidae: Forcipomyia), are
responsible for pollination. Unfertilized flowers abscise from the stem about 2436 h
after anthesis. Only 0.55% of flowers develop into mature pods.
In Ghana, Smith (1964) found that irrigation of young cocoa increased growth rates,
advanced flowering and increased the number of flowers (in the second year after
planting) but did not affect the percentage of fruit set compared with the unirrigated
control treatment. In his rainfall-only treatment, flushing (leaf production) within a
population was synchronized by the onset of the rains, whilst in the irrigated treatments
trees responded as individuals. Sale (1970a) found that each time potted cocoa plants
were watered following drought, vigorous flushing (and flowering) occurred, beginning
about 10 days after watering. Similarly, field observations in Brazil indicated that after
a period of water stress, during which flowering was inhibited, had ended with the start
of the rains, synchronous flushing (and flowering) occurred (Alvim and Alvim, 1977).
By transferring plants from low (5060%) or medium (7080%) relative humidity to
high humidity (9095%), Sale (1970b) was able to show that flowering could also
be induced by the relief from atmospheric-induced water stress. These and other
factors influencing seasonal periodicity of flushing and flowering in Ghana have been
described by Hutcheon (1977b).
Fruit development
From anthesis to the maturation of the fruit takes 150 days or more. In Papua
New Guinea, Bridgland (1953) reported actual total gestation periods (recorded in a
progeny trial) lasting from 163 to 200 days (mean 182). These were similar durations
to those found later in the Cameroon (between 167 and 200 days) (Braudeau, 1969).
The fruit remains attached to the tree until harvested. There are two critical points
during the development of the small fruits (known as cherelles) when they may stop
growing (known as cherelle wilt). The first, at about 40 days after fertilization of the
flowers, coincides with the first division of the fertilized egg. The second, after about
75 days, coincides with greatly increased fat and starch metabolism and the onset
of rapid growth of the fruits (McKelvie, 1956). At either susceptible stage, more of
the cherelles, even all of them, may wilt if the tree is flushing heavily. However, if the
tree is not flushing and all the cherelles are at the same developmental stage following
synchronized manual pollination, few if any wilt and if the crop is large, flushing is
suppressed. If, when the pods are harvested, replacements are set by synchronized
manual pollination of freshly opened flowers, they develop normally, without wilting.
The trees do not flush, and they may die back.
When fruit set is not synchronized artificially, cherelle wilt is considered to be a fruit
thinning mechanism, which occurs in response to a limited carbohydrate supply and
competition between pods for carbohydrates, whereby younger pods are preferentially
wilted. In this respect, water stress has an indirect impact on the wilting process as
carbohydrate assimilation is reduced. Whether water stress also has a direct impact
on another growth process such as, for example, cell division in the cherelle is not
known. Rather than being a yield-limiting factor itself, cherelle wilt therefore reflects
any carbohydrate limitation to pod growth. The number of seeds per fruit is normally
in the range 2050. The rate of increase in pod dry weight is slow for the first 60 days
after pollination and peaks after about 100 days before declining.
The timing of harvests varies from region to region depending on temperature and
rainfall distribution (Alvim, 1988). For example, in the state of Bahia, Brazil (14 S),
where there is no clearly defined dry season, low mean air temperatures (<23 C) in
June, July and August restrict flowering, which results in low yields seven months later.
In warmer locations, harvests are mainly influenced by rainfall distribution, again with
a six to seven month delay between cause (the start of the rains) and effect (mature
fruit).
Genotypes differ in the sensitivity of fruit growth to changes in air temperature,
which can affect time to fruit ripening, fruit losses from cherelle wilt, final pod size,
bean size and lipid content (Daymond and Hadley, 2008). There are also differences
between cultivars in the base temperature for fruit growth (range: 7.5 C for genotypes
Amelonado and AMAZ 15/15 to 12.9 C for SPEC 54/1).
Potential yield
The potential annual biomass (above ground) productivity of cocoa was estimated
by Corley (1983) to be 56 t ha1 . Based on an assumed harvest index of 0.20 (perhaps
an over-estimate) the maximum seed yield was predicted to be 11 t ha1 . This
is considerably more than the best recorded yield of 4.4 t ha1 (without shade)
and the best commercial yields of 1.52.5 t ha1 (Joe Thau-Yin Pang and G.
Lockwood, personal communication) Limiting factors, in addition to water stress
and pests and diseases, included shade trees (limiting photosynthesis; competition for
water), excessive leaf temperatures (especially when grown without shade), low air
temperatures (e.g. in Bahia, Brazil), and foliage susceptible to wind damage (benefits
from shelter, but reduced leaf cooling because of less wind).
Daymond et al. (2002a; 2002b) have confirmed the potential for yield improvement
in cocoa by selectively breeding for efficient partitioning of biomass to the yield
component. In a field experiment in Bahia, Brazil, they found, over an 18-month
period, a seven-fold difference in dry bean yield between the 12 genotypes tested,
ranging from the equivalent of 200 to 1400 kg ha1 . During the same interval, the
increase in trunk cross-sectional area ranged from 11.1 cm2 to 27.6 cm2 , with yield
efficiencies varying between 0.008 kg cm2 and 0.08 kg cm2 . Of the seven clones
compared, beans accounted for between 32% and 45% of the pod biomass.
Roots
According to Kummerow et al. (1981), summarizing the work of others, cocoa
seedlings are characterized by a fast growing tap root on which are formed a limited
number of rootlets. After three or four months a first ring of lateral roots has been
established. These grow vigorously always close to the soil surface (<100 mm depth)
and branch at their distal parts into dense clusters of fine roots. After four to six years
these laterals have spread 46 m from the stem forming a mat of fine roots, which
extend into the decomposing litter layer. Based on detailed measurements in Brazil,
Kummerow et al. (1981) estimated the total length of these roots for an 11-year-old
cocoa tree to be 1200 m m2 or the equivalent of 1.2 m2 of root surface for every
1 m2 soil surface. The tap root continues to grow in thickness and length reaching
depths of 1.01.5 m depending on soil conditions. Lateral roots develop on the tap
root at depth, some of which grow upwards. By combining fine root production with
reasonable estimates of the dry mass of other roots, including the tap root, the total
dry mass of roots was estimated to be conservatively 10 t ha1 .
Similar descriptions of the root systems of cocoa have been provided by Wood
(1985a) and Toxopeus (1985). Both refer to the detailed work in Trinidad summarized
by McCreary et al. (1943), whilst Van Himme (1959) has described with illustrations
the results of a major study of the root system of cocoa in the Democratic Republic
of Congo. The proportion by dry mass of the tap root to the total root system was
found by Thong and Ng (1980) on an inland soil in Malaysia to be constant at 0.84
almost independent of the plant age (up to seven years). By contrast, in a similar study
but this time on a coastal clay soil where a water table limited the development of the
root system, the tap root represented only 0.150.30 of the total dry mass of the root
system (Teoh et al., 1986).
By observing roots in a glass-sided box, filled with soil, Vogel (1975), working in the
Cameroon, found that roots of cocoa seedlings grew in length in a rhythmic pattern
having the same period as the leaf flush. The greatest root growth rate occurred
before and during each flush. Subsequently, Sleigh et al. (1981), using a similar method
in the UK, confirmed the cyclic nature of root extension, but with maximum root
development alternating with active leaf expansion. By contrast, Taylor and Hadley
(1988), also in the UK, found that periods of rapid root growth coincided (within three
or four days) with maximum rates of shoot growth (and vice versa). During the periods
between successive leaf flushes, root growth continued but at a reduced rate. These
observations were made in a controlled environment greenhouse with a nutrient film
system.
Roots of cocoa appear to grow in a rhythmic pattern but its timing in relation
to a leaf flush is uncertain (possibly this is a result of the different methods of root
measurement used). There are practical implications in terms of the sensitivity of
cocoa to water stress at different stages in the flush cycle, or the best time to transplant
seedlings to the field, and subjects worthy of further research.
In a remarkably detailed experiment, Moser et al. (2010) simulated an El Nino
drought in Central Sulawesi, Indonesia (1.55 S, 120.02 E; alt. 585 m) by reducing
rain reaching the soil by 7080% (with plastic roofs placed beneath the cocoa canopy)
for 13 months in a six-year-old cocoa plantation. The cocoa was shaded by Gliricidia
sepium. All aspects of dry matter production were monitored, including roots, relative
to the unprotected control area. Excavations before the drought revealed a superficial
distribution of roots in the profile with >83% of the fine roots (<2 mm diameter)
and >86% of coarse roots (250 mm), both by dry mass, being found in the top
0.40 m. There were significant quantities of fine roots to a depth of 1.0 m whilst the
deepest were found at 2.0 m. Coarse roots extended to 1.5 m. Surprisingly, there
were no differences in root distribution or mass between the control and the sheltered
cocoa at the end of the drought 13 months later. A few roots extended laterally up to
>1.0 m, although coarse and large roots (2150 mm) were concentrated within 0.5 m
of the stem. The roots of Gliricidia penetrated much deeper than those of cocoa with
considerable numbers of fine roots present at 2.5 m depth.
Little work appears to have been done on genotypic variation in root:shoot ratios.
Summary: crop development

1. Cocoa has a dimorphic growth habit.
2. Flushes of leaf and shoot growth, synchronized by the commencement of the
rains after a dry season (or an increase in temperature), alternate with periods of
dormancy.
3. Light interception by the leaf canopy, and light distribution within the canopy, are
important determinants of yield.
4. Visible symptoms of drought include premature leaf fall (progressively younger
leaves abscise), the yellowing of basal leaves, wilting, small leaves and slow trunk
growth.
5. Flowering is inhibited during periods of water stress (and by low temperatures)
but the start of the rains results in synchronous flowering.
6. Water stress during fruit development results in small pods and may be an indirect
contributory factor in cherelle wilt.
7. Roots grow in a rhythmic pattern but there is conflicting evidence of its timing in
relation to shoot growth flushes.
8. Although cocoa is considered to be shallow rooting, roots can extend to depths
of 1.52.0 m. A large proportion of the roots (80%) are located in the top
0.20.4 m.
9. Roots can extend laterally considerable distances (>5 m), but the majority are
within 0.5 m of the stem.
10. Only a few of these processes have been quantified in practically useful ways.
P L A N T WAT E R R E L AT I O N S
Stomata
Stomatal size and frequency as well as the structure and distribution of leaf waxes of
two seedling cocoa varieties (Catongo and Catongo/SIAL) were described by Gomes
and Kozlowski (1988). In a greenhouse study in Wisconsin, USA, the average density
of stomata, which are found only on the abaxial (lower) surface of the leaf, was about
700 mm2 . Both leaf surfaces were covered with heavy deposits of amorphous wax,
except for near the stomatal pores. By comparison, in Malaysia, stomatal densities
in mixed hybrid seedlings averaged 820 mm2 in irrigated seedlings but 1110 mm2
in unirrigated plants (increase in density associated with smaller leaves) (Huan et al.,
1986). In a comparison of eight contrasting genotypes in a greenhouse environment
in the UK, Daymond et al. (2009) recorded stomatal densities ranging from 788 to
1081 mm2 (mean 960). In contrast, the densities recorded by Balasimha et al. (1985)
in a comparison of 40 accessions in South India averaged only about 100 mm2
(range 80122). Such a low density compared with other research suggests an error
in measurement or in reporting.
In pioneering research, Alvim (1958) used the infiltration technique to monitor the
degree of stomatal opening in cocoa, and showed, with cuttings and young plants, that
the method could be used as a practical indicator of water stress in cocoa. In a field
study with five-year-old plants, which were not suffering from water stress, stomatal
opening increased as the light intensity increased with maximum opening in strong
sunlight.
Using a diffusion porometer in Ghana, Hutcheon (1977a) found that stomatal
conductance was controlled mainly by the leaf water status. Partial stomatal opening
at low light intensities is a feature of shade-tolerant species like cocoa, as is the capacity
of the stomata to respond quickly to changing light intensity. The stomata of well-
watered field-grown cocoa plants generally remained open in full sunlight.
Leaf water status

In a review of early research on the water relations of cocoa, Fordham (1972)
emphasised the importance of recording the internal water status of a plant if the
results of research on crop water use were to have application at sites away from where
the research was undertaken. Attempts to relate rainfall amount and distribution to
yields in Ghana, Nigeria and Trinidad had, for example, merely emphasized that
the relationships are not simple and have little generic value. Similarly, attempts to
quantify the role of irrigation in crop productivity in Ghana and Trinidad had failed
to establish causal relationships as they did not always take into account either the
influence of pore size distribution on soil water availability, or the impact of the aerial
environment (e.g. effects of solar radiation/shade, humidity and wind) on evaporative
demand at the crop surface. Since preliminary results had been encouraging, Fordham
(1972) advocated the use of the pressure chamber technique for determining the water
status of field-grown cocoa plants, a method subsequently confirmed, in a comparative
test, as being suitable for cocoa by Yegappan and Mainstone (1981) in Malaysia.
In Ghana, Hutcheon (1977b) described the sequential changes in leaf water
potential (and its components) as water stress increased, as recorded in a diverse
range of experiments. Initially in a wet soil, values were high early in the morning,
declining to about 1.2 MPa by the middle of the day before recovering in the
afternoon. As the soil dried midday values declined, reaching lows of 1.5 MPa when
midday stomatal closure restricted further water loss. As the soil dried out, recovery
from midday closure became weaker until leaf water potentials remained low even
at night. There was no evidence of diurnal changes in osmotic potential but some
evidence of considerable seasonal changes (down to 2.4 MPa).
In Ecuador, by contrast, low evaporation rates, due to dull, cool conditions, at the
start of the long (six months) dry season prevented the midday leaf water potential,
measured in the upper canopy of unirrigated, shaded 12-year old trees, from declining
below that recorded in irrigated trees (about 0.8 MPa) until there had been 34
months without rain. By the end of the dry season, the leaf water potential had
reached 1.6 MPa. There was no similar reduction in stomatal conductance which
remained relatively constant throughout the dry season. Osmotic adjustment may have
occurred. Similar measurements made in semi-arid north-east Brazil, where irrigation
is also necessary and where evaporation rates are higher than in Ecuador, indicated
how drought stress occurred earlier in the dry season (leaf water potential reached 1.4
MPa within two months) with a large differential in stomatal conductance between
irrigated and unirrigated trees (Orchard, 1985).
Gas exchange
In Ghana, Hutcheon (1977a) found a close relationship between photosynthesis rate
(measured with the 14 CO2 method on a wide range of cocoa genotypes and growing
conditions) and stomatal conductance, indicating that stomata are an important
controlling factor in photosynthesis. Stomata are sensitive to the dryness of the air.
For example, in a greenhouse experiment in the UK (under low light conditions),
stomatal conductance fell (cv. West African Amelonado) when the saturation deficit
of the air exceeded about 1.0 kPa, and continued to decline over the range tested (up
to 3.0 kPa). Rates of photosynthesis (measured with an infra red gas analyser) also
declined over the same range of values. In contrast, transpiration at first increased
with the saturation deficit but, at values above 1.0 kPa, remained constant (Raja
Harun and Hardwick, 1988). In another greenhouse experiment, this time in Indiana,
USA, Joly (1988) judged that net photosynthesis of seedlings declined once the leaf
water potential fell below about 0.8 to 1.0 MPa. The relationship (with pooled
data) between net photosynthesis and stomatal conductance was again (Hutcheon,
1977a) best described by an exponential asymptotic equation. Assimilation rates
varied linearly with transpiration. The three cultivars tested (EET399 and EET400,
half siblings of Ecuadorian Oriente origin, and one Trinitario type, UF613) differed
in their instantaneous water-use efficiencies, that is net photosynthesis divided by
transpiration (Joly and Hahn, 1989).
By contrast, in a greenhouse/controlled environment study in Maryland, USA,
three different genotypes (CCN 51, LCT EEN 37/A and VB 1117 representing
different types) responded in similar ways to changes in ambient conditions (light
intensity, carbon dioxide concentration and dryness of the air). As an example, the
short-term effects of increasing the saturation deficit of the air (from 0.9 to 2.2 kPa)
were to reduce the rate of net photosynthesis slightly, to increase transpiration but to
have minimal effect on stomatal conductance. Cocoa was considered to be unusually
ineffective in limiting transpiration in dry air compared with other rain forest tree
species (Baligar et al., 2008).
The sensitivity of the stomata of cocoa to the saturation deficit of the air was
demonstrated further in Colombia by Hernandez et al. (1989). Stomatal conductance
declined rapidly in shaded plants (cv. ICA4xIMC67) as the saturation deficit was
increased from 0.5 to 3.5 kPa, whilst apparent carbon dioxide uptake was reduced at
values above about 2.0 kPa. Transpiration at first increased as the saturation deficit
was increased from 0.5 to 1.0 kPa, but then declined, reaching very low values at
4.0 kPa. The implications of these observations to the sustainable management of
cocoa under field conditions were considered, in particular the value of shade (water
use efficiencies are likely to be higher under shade, although in practice this will
depend on such things as the amount of light intercepted by the shade canopy, the
leaf area index of the cocoa canopy and the ambient light conditions) and irrigation
(responses will be limited during periods of hot, dry air).
In a field study in India, Balasimha et al. (1991) also found that photosynthesis
declined as the saturation deficit of the air increased above about 2 kPa. Drought
tolerant accessions maintained higher leaf water potentials during dry months than
drought susceptible ones.
In Malaysia, container-grown plants were subjected to water stress of different
durations. Leaf water potentials fell to minimum values of about 3.0 MPa in
droughted plants with a suggestion that the critical value below which stomatal
conductance and photosynthesis both declined was about 1.5 MPa. There was
an indication that one genotype (KKM25) could withstand water stress better than
the other two (KKM4, KKM5) tested (Razi et al., 1992).
A similar study was undertaken in a semi-arid region of Venezuela (08 31 N
71 71 W; alt. 1100 m) this time with field-grown, shaded, four-year-old plants
(cv. Guasare, Criollo type) irrigated every 3, 12 or 25 days. Minimum leaf water
potentials were in the range 1.4 to 1.7 MPa, and there was evidence of osmotic
adjustment, but only in the 3- and 12-day treatments. In severely stressed plants, daily
photosynthesis was reduced by 25% and transpiration by 39% compared with the
3-day treatment, which implies an increase in water-use efficiency (Rada et al., 2005).
In a greenhouse experiment in the UK, significant differences in the instantaneous
water-use efficiencies were recorded in the eight genotypes compared, ranging from
3.1 (IMC47) to 4.2 mmol mol1 water (ICS1) (Daymond et al., 2009).
Shading, as well as water, also influences gas exchange processes. In a nursery
experiment in Ghana, young clonal plants were shaded with netting at three different
levels (32.5, 55 and 76% shade). The plants were kept well watered. During the two
rainy seasons, stomatal conductance, photosynthesis and transpiration all declined
as the level of shade increased, but during the dry season the situation was reversed
(Acheampong et al. 2009). This difference between the seasons was explained by the
dryness of the air. Saturation deficits averaged about 1.4 kPa in the rains and 2.7 kPa
in the dry season.
That wind can physically damage cocoa was confirmed in a wind tunnel experiment
in Wisconsin, USA. Of particular interest though was the observation that an increase
in wind speed from 1.53.0 m s1 to 6.0 m s1 increased stomatal conductance, but
reduced transpiration. This was apparently the result of a reduction in the leaf:air
saturation deficit associated with cooling of the leaves by the wind (Gomes and
Kozlowski, 1989).
Drought tolerance
In South India, where there is an extended dry season, Balasimha et al. (1988)
developed a procedure for determining the relative drought tolerance of cocoa
accessions. Based on an assessment of a number of plant parameters, including
effective stomatal control of transpiration when under water stress, five accessions
(NC23, NC29, NC31, NC39 and NC42) were identified as being drought tolerant.
Later, Balasimha et al. (1999) evaluated the drought tolerance of the progeny of crosses
between four high yielding and three drought-tolerant pollen parents (NC23/43,
NC29/66, and NC42/94). Using the rapid excised leaf screening method (based on
changes in leaf water potential of an excised leaf in 90 minutes (Balasimha and Daniel,
1988)), and follow-up field measurements during the dry season over a five-year period,
they identified two hybrids (121 NC42/94; 129 NC23/43) exhibiting drought
tolerance characteristics on the basis of their higher leaf water potentials and stomatal
resistances during dry weather.
In a comparison of eight clones (all grafted on to local Comum variety rootstocks)
in a greenhouse experiment in South Bahia, Brazil, three were identified as being
drought tolerant on the basis of the degree of osmotic adjustment recorded, but only
when dehydration was imposed rapidly (Almeida et al., 2001). The osmotic adjustment
was associated with the accumulation of potassium and phosphorus ions in the leaf.
These three clones (SPA5, SIAL70 and TSH516) were recommended for growing on
drought prone shallow soils in the region. By contrast, Premachandra and Joly (1994)
could find no evidence of osmotic adjustment in cocoa seedlings subjected to water
stress over a 22-day period in a glasshouse experiment in Indiana, USA.
According to Bae et al. (2008), it may be possible to enhance drought tolerance
in cocoa by altering polyamine levels, which are associated with the response of
plants to drought, either by selection or by genetic manipulation. Although transgenic
techniques in cocoa are at present discouraged because of consumer concerns, the
genes involved in polyamine biosynthesis have been identified.
Bae et al. (2009) have also identified another possible way of enhancing drought
tolerance in cocoa. They found that colonization of young cocoa seedlings by the
endophytic fungus Trichoderma hamatum (isolate DIS 219b) promoted growth and
delayed the onset of drought symptoms through changes in gene expression. The
primary direct effect of colonization was to promote root growth (dry weight and fresh
weight) regardless of the plant water status. This delayed drought-induced changes in
stomatal conductance, net photosynthesis and green fluorescence emissions as well as
wilting.
Summary: plant water relations

1. Stomata are found on the abaxial surface of the leaf at densities of 700
1100 mm2 .
2. Stomata open in low light intensities and remain fully open in full sunlight on
well-watered plants.
3. Leaf water potentials in well-watered plants can decline to 1.2 MPa at midday,
before recovering.
4. As the soil dries, minimum values of leaf water potential can reach 3.0 MPa in
droughted plants.
5. Partial stomatal closure begins at a leaf water potential of about 1.5 MPa.
6. Stomatal conductance is sensitive to dry air, declining as the saturation deficit
increases from about 1.0 up to 3.5 kPa.
7. Net photosynthesis declines over a similar range of values.
8. Transpiration initially increases but when the saturation deficit exceeds about
1.0 kPa it begins to decline (or remains constant), reaching very low values
at 4 kPa.
9. Cultivars differ in their instantaneous water-use efficiencies.
10. Leaf water potential and stomatal conductance measurements have been used to
identify drought resistant cultivars.
11. There is conflicting evidence about the contribution of osmotic adjustment to
drought tolerance.
C RO P WAT E R R E Q U I R E M E N T S
Few attempts have been made to quantify the actual water use of cocoa in the field.
In Cte dIvoire, Jadin et al. (1976) used a neutron probe to monitor changes in
the soil water profile beneath young cocoa plants irrigated with sprinklers or with
drip. Using a similar set of measurements, Jadin and Snoeck (1981) developed linear
relations between actual water use for irrigated and unirrigated crops and a Penman
equation (date unspecified) estimate of evapotranspiration, and also between water-
use and evaporation from a pan (Colorado). It is not easy to apply these findings with
confidence elsewhere.
Based on the Penman-Monteith equation (Allen et al., 1998), and using published
values of the key parameters (including crop, aerodynamic and surface resistances)
controlling transpiration and evaporation from crop and soil surfaces, Radersma and
Ridder (1996) computed evapotranspiration by cocoa (and three other crops) for La
M, Cte dIvoire (ca. 5 20 N 4 02 W; alt. 35 m). Assuming an annual rainfall total
of 1500 mm, daily transpiration rates (T) were estimated to be between 3.0 and 6.1
mm d1 during the rains, depending on net radiation levels and the saturation deficit
of the air, and from 1.0 to 1.9 mm d1 during the dry season. The corresponding
seasonal and annual totals for evapotranspiration (ETc) were 584 mm (wet season),
294 mm (dry season) and 878 mm (total).
The sap-flow technique was used by Colas et al. (1999) in Indonesia (40 38 S
105 15 E) to measure transpiration of individual cocoa trees (eight years old) grown
alone (1333 ha1 ) or in association with coconut (1186 and 87 trees ha1 respectively).
On dry days, transpiration increased rapidly early in the morning, reaching maximum
values of 2.53.0 l dm2 h1 before declining from about 11:00 hours onwards, when
the saturation deficit of the air reached about 2 kPa, as a result of stomatal closure.
On wet days, transpiration rates remained relatively constant during the middle of the
day. Over a consecutive 18-day period, transpiration averaged the equivalent of about
1.31 mm d1 , (or 10 l tree1 d1 ) compared with a Penman (1948 version) potential
ETo estimate of 35 mm d1 . This equates to a crop factor (Kc) value of about 0.3
(see below). For comparison, transpiration by cocoa in the crop combination averaged
1.19 mm d1 .
In the simulated El Nino drought experiment reported by Moser et al. (2010) in
Central Sulawesi, Indonesia (described above under Roots), the combined average
rate of water use by both species, cocoa and Gliricidia sepium, (as measured with
heat dissipation sap flux sensors) was only 1.3 mm d1 in the protected plots and
1.5 mm d1 in the control (70% of which was from the cocoa trees), values similar
to those reported above, but still surprisingly low (Kohler et al., 2010). Drainage
represented 55% of the annual rainfall in the control plots and 11% in the protected
plots.
Water requirements (ETc) derived from estimates of potential evapotranspiration
by a reference crop (ETo) require a crop factor (Kc = ETc/ETo). Allen et al. (1998)
suggested a Kc value of 1.01.05 for a cocoa crop with a complete canopy. The Kc
value is based on a theoretical understanding of the processes of transpiration and
evaporation from a tall crop, and assumes full crop cover or frequent wetting of the
soil surface. The evidence on evapotranspiration presented above suggests this Kc
value is too high, but it depends on the actual crop cover in the two field experiments
described.
Summary: crop water requirements

1. Little has been reported on the water use of cocoa.
2. Field data (based on the sap flow method) suggest ETc rates of <2 mm d1 which,
for a crop with a complete canopy, would appear to be low.
3. The corresponding Kc value is only 0.3, much less than the theoretical value for a
cocoa crop or any crop with complete ground cover.
WAT E R P RO D U C T I V I T Y
Yield forecasting
A number of attempts have been made to relate cocoa yields to rainfall, for example
in Trinidad (Dunlop, 1925), Papua New Guinea (Bridgland, 1953), Ghana (Ali, 1969;
Maidment, 1928; Skidmore, 1929) and Nigeria (Toxopeus and Wessel, 1970), also
reviewed by Fordham (1972). But, as the role of rainfall in crop growth is not a simple
one, these attempts have had limited success. Recently, a physiological growth and
production model for cocoa has been developed and described by Zuidema et al.
(2005). Known as SUCROS-Cocoa, it is based on the SUCROS-family of models
with parameter values taken from the literature. It simulates biomass production and
bean yield for different situations and locations. Lack of good independent data has
limited the validation of the model. Regression analysis showed that over 70% of the
variation in simulated bean yield could be explained by a combination of annual solar

radiation and rainfall in the two driest months. Yield losses due to drought of up to 50%
depending on location and soil type were predicted. Heavy shading (>60%) reduced
yields by more than 30%. Opportunities to improve the model were identified.
Responses to irrigation
In view of the apparent sensitivity of cocoa to drought, there have been surprisingly
few irrigation experiments, but perhaps less surprising given the limited likelihood of
commercial scale irrigation. Murray (1961) reported the results of one such experiment
in Trinidad, but problems in applying and monitoring the amount of water applied in
the dry season (acknowledged by the author) meant that the results obtained over five
years (no consistent yield advantage from irrigation) had little value. Low atmospheric
humidity in the dry season was suggested as a possible limiting factor. An irrigation
experiment in Ghana was also compromised by poor design (recognized as a weakness)
that meant the data could not be analysed statistically. Yield increases of 12, 17 and
40% were obtained from mature Amelonado trees by keeping the soil close to field
capacity in the three years 19601962. These increases were less than anticipated at
the time due, it was again thought, to dry air constraints. No absolute yields were
presented (Hutcheon et al., 1973).
Another irrigation experiment was undertaken in Malawi (16 31 S 35 10 E; alt.
52 m) by Lee (1975). The depth of water applied was based on three evaporation pan
factors (0.6, 0.8 and 1.00 Epan (Kenya type)), with two irrigation intervals based
on calculated soil water deficits (52 or 104 mm). Detailed records were kept for two
years (1971/72 and 1972/73) when the average annual rainfall was 710 mm and the
depths of water applied over the long dry season were 9201650 mm. Yields of wet
beans from a 45 year-old Amazon cultivar (T76) were similar for all three water
applications, averaging about 2200 kg ha1 . More frequent irrigation out-yielded less
frequent irrigation by 285 kg ha1 (2318 and 2032 kg ha1 ), although plot to plot
variability was large (CV >30%). Hot dry winds damaged the crop towards the end
of the dry season. The alluvial soil had a water holding capacity of 230 mm m1 . The
seasonality of harvest was not affected by any of the treatments.
In Cte dIvoire, Jadin and Jacquemart (1978) compared two methods of irrigation
(sprinklers and drip) with an unirrigated control treatment on the development and
yield of young cocoa over a two-year period. Sprinkler irrigation was applied when
the measured soil water deficit reached 20 mm, whilst drip irrigation was applied
when the soil water tension reached 20 kPa at 0.20 m depth. As a result in part
of these differences in scheduling irrigation, considerably more water was applied
with the sprinklers in the dry season (535 mm) than with drip (224 mm). Irrigation,
particularly drip, speeded up the rate of development, increased the number of flowers,
and increased yields but did not affect the periodicity of the growth cycle.
The results of an unreplicated field scale irrigation trial in Peninsular Malaysia were
later reported by Huan et al. (1986). Supplementary irrigation (drip) was applied daily
to a 0.5 ha block of mixed hybrid seedlings on a coastal estate (marine clay) after a
dry period (no rain for two weeks), except on days after there had been 5 mm or
more rain, or it was actually raining. A similar 0.5 ha block acted as the unirrigated
control. The trial lasted nearly three years (19811983). Annual dry bean yields were
increased by irrigation from 1500 to 2400 kg ha1 (+60%) in 1982 and from 1150 to
1450 kg ha1 (+28%) in 1983. This followed an increase in pod number (averaging
+39%) and in bean weight (+7%). The quantities of water applied were not specified.
These results can only be considered indicative of responses to irrigation at this site,
and have limited generic value.
In the simulated El Nino drought experiment reported by Moser et al. (2010) in
Indonesia (described above under Roots and Crop water requirements) there were no
significant differences in cocoa leaf, stem and branch wood, or fine root biomass
production (above and below ground) between the control treatment and the one in
which rain through-fall was reduced by 7080%, even though the soil profile dried
to permanent wilting point during the year. By contrast, there was a reduction in dry
bean production over the year as a whole from 740 180 to 670 30 kg ha1 (both
low yields when compared with the best commercial yields), with the later harvests
more affected than the early ones. Possible causes of the limited response to drought
in terms of net biomass production were proposed. These included active osmotic
adjustment in the roots (measured), high atmospheric humidity in both treatments,
and drought mitigation through shading by Gliricidia.
In contrast to the trials described above, the principal practical objective of an
experiment summarized by Hutcheon (1981b) was to find out if irrigation would
induce Amelonado trees to flower throughout the dry season in order to produce
pollen for use in manual pollination of a seed orchard in Ghana. When the cherelles
were continuously removed, irrigated trees produced 30% more flowers than those
that were unirrigated, although the flowering patterns were the same. There was no
benefit from using over-tree sprinklers (to reduce internal water stress by raising the
humidity) rather than micro-sprinklers under the trees.
Drought mitigation
Repeated mulching (with fresh, moist plantain pseudostems) improved the
establishment of cocoa seedlings during the extended six-month dry season in Ecuador
(Orchard and Saltos, 1988). Mulched plants maintained stomatal opening at similar
levels to irrigated plants whilst, at the end of the first year of establishment, there were
substantial increases in the dry weight of shoots and roots, and in leaf area over and
above those recorded in the irrigated treatments. The benefits of applying a mulch
during the first three to four years after establishing cocoa seedlings in the field can
be large. But, the cost of growing, cutting, transporting and spreading the mulch can
be prohibitive unless it is available on the spot as, for example, when leguminous
shrubs such as Flemingia macrophylla are used as temporary shade (Wood, 1985c). The
role of shade trees in drought mitigation (or enhancement) is complex and variable
depending on many variables and is worthy of a separate review.
Specific advice to growers on irrigation practices is even harder to find but the
Central Plantation Crops Research Institute, Kerala, South India gives this (edited)
advice to cocoa producers in some areas of southern India, where long periods of dry
weather lasting three to six months can occur (CPCRI, 2010):
Irrigate at weekly intervals during the summer [presumably refers to a sole crop]. When cocoa
is grown as a mixed crop with arecanut, irrigate once a week during November-December, once every
six days during January-March and once in four to five days during April-May with 175 l water
tree 1 . Maximum yields are obtained when cocoa is drip irrigated with 20 l day1 tree1 .
Assuming a planting density of 1600 trees ha1 (2.5 m 2.5 m) these figures equate
to rates of water use equivalent to 5.67.0 mm d1 or at 1100 trees ha1 (3 m 3 m)
3.94.8 mm d1 , and 2.2 or 3.2 mm d1 for drip irrigation. No estimates of the
yield benefits are given or of the total quantity of water to be applied over a season.
Presumably this is not known.
Summary: water productivity

1. There is a paucity of reliable published data quantifying the yield and other benefits
that could result from well-managed irrigation of cocoa in different locations.
2. It remains to be seen under what conditions irrigation (and/or drought mitigation,
including mulching of young trees) is financially worthwhile.
3. Dry air can be expected to limit responses to irrigation.
4. It is not possible to specify yield response functions to water with the limited
information available.
5. Shade trees add a further complication.
C O N C LU S I O N S
Since cocoa is a drought-sensitive crop, and a large proportion of the worlds cocoa is
grown in parts of the tropics having a distinct alternation between wet and dry seasons,
it is to be expected that the water relations of cocoa would have been the subject of
research. What is surprising is the limited amount of work done in the field with
mature crops as compared with research on immature plants in relatively controlled
conditions. Although research on immature plants has led to a good understanding
of aspects of cocoa physiology, there is a paucity of information of direct practical
value. For example, the lack of data on crop water use and water productivity means
it is impossible to quantify yield losses due to drought or yield benefits from irrigation.
With the threat of climate change leading to less, or more erratic, rainfall in the tropics,
and higher temperatures and drier air, uncertainty in yield forecasting will increase
and yields will decrease on average. In particular, there is evidence of a decline in
the annual rainfall in the agro-ecological area where cocoa is concentrated in Ghana
(Owusu and Waylen, 2009). This may be of particular significance when the existing
cocoa is uprooted and the land replanted on soils that have already deteriorated in
terms of organic matter and nutrient content. Taken together this could result in crop
establishment problems. The vulnerability of the cocoa industry to climate change in
Ghana, which employs over 800 000 smallholder farm families on farm sizes ranging
from 0.4 to 4.0 ha, has been the subject of a study by Anim-Kwapong and Frimpong
(2006). They proposed a number of policy options that needed to be put in place to
enable the industry to adapt to these anticipated changes. These included a drought
management policy and, specifically, the promotion of irrigation.
Why has there been this emphasis on fundamental research and less on its practical
application? The answer must be in part due to the structure and nature of the
industry, and the way research is organised and funded. Often the drivers for change
in agriculture are the more progressive farmers who are already industry leaders,
but believe they can do it even better given additional information. They will also
probably be those with access to funds. Cocoa producers are, however, predominantly
(95%) smallholders with very low shadow wages spread over protracted time spans,
little if any access to capital and all too often low profitability. Cocoa suffers because
the barriers to smallholder entry are very low and people who have few alternative
sources of income are prepared to do a lot of work for very little. Most world cocoa
production is organic by default pesticides might be used if insect pests in particular
get out of hand but otherwise there are few purchased inputs, so irrigation has never
seemed an option worth pursuing vigorously by researchers (despite the sensitivity of
cocoa to water stress).
But perhaps the cocoa industry will develop in a different, more intensive way.
Following an eight-year research project, a fledging, modern, mechanised, clonal,
cocoa industry is being created in northern Queensland, Australia with supplementary
irrigation. Based on field trials, the annual irrigation requirement has been estimated
to be up to 470 mm, depending on the site, with peak weekly requirements of about
200 l tree1 (1250 trees ha1 ). Dry bean yields of between 1.5 and 2.7 t ha1 have
been achieved from young trees (Diczbalis et al., 2010).
Research on the water relations and irrigation of cocoa is obviously complicated
by such issues as shade/shelter (for relative advantages and disadvantages see Beer
(1987) and Obiri et al. (2007)), mixed cropping (e.g. with coconut, rubber, banana),
diverse scales of production (from smallholders to large estates) and interactions with
plant density. All of these variables affect crop water status and the yield potential, and
hence the justification (in financial and livelihood terms), or otherwise, for irrigation
or other forms of drought mitigation, for example mulching at the establishment
phase, appropriate shade usage and planting drought tolerant cultivars (Acheampong,
2010). These are the issues that need to be addressed, preferably in a coordinated
international research programme.
Whether managing water stress is justified in a given situation will depend on the
growth stage of the cocoa, the local climate and predicted climate change for the
region. But when there are still so many other limiting factors to yield, including
generally low levels of field maintenance, pests and diseases, lack or imbalance of
nutrients and, on occasion, competition from shade trees, water management will not
always be the priority issue of concern. Irrigation is a luxury for many farmers. It is
the icing on the cake only to be considered when other limiting factors have been
addressed. In view of cocoas international importance as a traded commodity, and
whatever the situation, it is difficult to understand why cocoa production at a field
level is so under resourced.
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The water relations and irrigation requirements

Article in Experimental Agriculture October 2011

By M. K. V. CARR, and G. LOCKWOOD

(Accepted 17 March 2011; First published online 27 May 2011)

The centre of diversity of cocoa is believed to be within the rainforests of lowland

Stem and leaf canopy development

Summary: crop development

Leaf water status

Summary: plant water relations

Summary: crop water requirements

variation in simulated bean yield could be explained by a combination of annual solar

Summary: water productivity

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